DFX Intelligence
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Registered advisor
K•••• S•••••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as K•••• E•••••••• B••••••••• S••••••••• E•••••••• S••••••••• D••••••
At current firm
2 y
since Mar 28, 2024
In the industry
16 y
since Mar 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Mar 28, 2024 · Santa Fe, Nm
- C•••••• S••••• • C••• I••• national BDDec 13, 2022 to Jan 9, 2024 · Santa Fe, Nm
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 18, 2017 to Nov 16, 2022 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2016 to May 4, 2017 · Santa Fe, Nm
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 17, 2015 to Oct 26, 2016 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Jan 9, 2024, registered Mar 28, 2024 (79 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Nov 16, 2022, registered Dec 13, 2022 (27 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left May 4, 2017, registered Sep 18, 2017 (137 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 26, 2016, registered Nov 2, 2016 (7 days) · Other
Signals
- ••• LockedJan 9, 2024 · Advisor changed firm · fact
- ••• LockedNov 16, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address